William Wai Lim Mok
莫偉廉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for William Wai Lim Mok (莫偉廉), a licensed former licensee with CE reference ACR412. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2012-09-03 | 2014-12-31 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-02 | 2005-06-17 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-02 | 2005-06-17 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-02 | 2005-06-17 |
| C F C Securities Limited |
Rep | Type 1 — Dealing in securities | 2003-11-20 | 2004-03-02 |
| Delta Asia Financial Futures Limited 滙業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-06-30 |
| Delta Asia Financial Futures Limited 滙業金融期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-06-30 |
| Delta Asia Financial Futures Limited 滙業金融期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-30 |